Laws and Regulations Terms

  1. Jumpstart Our Business Startups Act - JOBS

  2. Jurisdiction Risk

  3. Katie Couric Clause

  4. Large Trader

  5. Legal Lending Limit

  6. Legal Rate Of Interest

  7. Legend

  8. Legislative Overkill

  9. Letter Of Comment

  10. Letters Patent

  11. Lilly Ledbetter Fair Pay Act

  12. Limited Power Of Attorney - LPOA

  13. Liquidated Damages

  14. Listing Requirements

  15. Locked Market

  16. Loophole

  17. Loss Disallowance Rule - LDR

  18. Maintenance Margin

  19. Malfeasance

  20. Market Capitalization Rule

  21. Market Performance Committee

  22. Markets in Financial Instruments Directive - MiFID

  23. Master-Servant Rule

  24. Material Insider Information

  25. Mechanic's Lien

  26. Mineral Rights

  27. Minimum-Interest Rules

  28. Misappropriation Theory

  29. Multijurisdictional Disclosure System - MJDS

  30. National Association Of Securities Dealers - NASD

  31. National Market System Plan - NMSP

  32. National Treatment

  33. NCUA-Insured Institution

  34. Nevada Corporation

  35. No-Shop Clause

  36. Non-Covered Security

  37. Non-Disclosure Agreement - NDA

  38. Non-Negotiable

  39. Non-Open Market

  40. Non-Resident

  41. Nonfeasance

  42. Nonresident Alien

  43. Notice Filing

  44. Novation

  45. Office Of Thrift Supervision - OTS

  46. Oil Pollution Act Of 1990

  47. Ombudsman

  48. Ontario Securities Commission - OSC

  49. Open-Market Transaction

  50. Option Schedule

  51. Options Backdating

  52. Options Clearing Corporation - OCC

  53. Order Protection Rule

  54. Organic Act of the Department of Labor

  55. Over-The-Counter Bulletin Board - OTCBB

  56. Patent

  57. Patent Reexamination

  58. Periodic Payment Plan Certificate

  59. Poop

  60. Power Of Attorney

  61. Power of Attorney of Property

  62. Pre-Syndicate Bid

  63. Preliminary Prospectus

  64. Preparer Tax Identification Number - PTIN

  65. Price Cap Regulation

  66. Primary Exchange

  67. Principal-Agent Relationship

  68. Private Securities Litigation Reform Act – PSLRA

  69. Pro-Tanto

  70. Promissory Estoppel

  71. Proxy Statement

  72. Prudent Investor Act

  73. Prudent Investor Rule

  74. Prudent-Person Rule

  75. Public Offering

  76. Pujo Committee

  77. Punitive Damages

  78. Qualified Domestic Relations Order - QDRO

  79. Qualified Institutional Buyer - QIB

  80. Quiet Filing

  81. Quiet Period

  82. Quiet Title Action

  83. Rate Of Return Regulation

  84. Recourse

  85. Registered Investment Advisor - RIA

  86. Registrar

  87. Regulation 9

  88. Regulation A

  89. Regulation AA

  90. Regulation B

  91. Regulation BB

  92. Regulation C

  93. Regulation CC

  94. Regulation D - Reg D

  95. Regulation DD

  96. Regulation E

  97. Regulation EE

  98. Regulation F

  99. Regulation Fair Disclosure - Reg FD

  100. Regulation G

Hot Definitions
  1. Pension Risk Transfer

    When a defined benefit pension provider offloads some or all of the plan’s risk – e.g.: retirement payment liabilities to former employee beneficiaries. The plan sponsor can do this by offering vested plan participants a lump-sum payment to voluntarily leave the plan, or by negotiating with an insurance company to take on the responsibility for paying benefits.
  2. XW

    A symbol used to signify that a security is trading ex-warrant. XW is one of many alphabetic qualifiers that act as a shorthand to tell investors key information about a specific security in a stock quote. These qualifiers should not be confused with ticker symbols, some of which, like qualifiers, are just one or two letters.
  3. Quanto Swap

    A swap with varying combinations of interest rate, currency and equity swap features, where payments are based on the movement of two different countries' interest rates. This is also referred to as a differential or "diff" swap.
  4. Genuine Progress Indicator - GPI

    A metric used to measure the economic growth of a country. It is often considered as a replacement to the more well known gross domestic product (GDP) economic indicator. The GPI indicator takes everything the GDP uses into account, but also adds other figures that represent the cost of the negative effects related to economic activity (such as the cost of crime, cost of ozone depletion and cost of resource depletion, among others).
  5. Accelerated Share Repurchase - ASR

    A specific method by which corporations can repurchase outstanding shares of their stock. The accelerated share repurchase (ASR) is usually accomplished by the corporation purchasing shares of its stock from an investment bank. The investment bank borrows the shares from clients or share lenders and sells them to the company.
  6. Microeconomic Pricing Model

    A model of the way prices are set within a market for a given good. According to this model, prices are set based on the balance of supply and demand in the market. In general, profit incentives are said to resemble an "invisible hand" that guides competing participants to an equilibrium price. The demand curve in this model is determined by consumers attempting to maximize their utility, given their budget.
Trading Center